2021070664101 Citigroup Global Markets Inc. CRD 7059 AWC lp (2024-1730938800691).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070664101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc. (Respondent) Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216, Respondent Citigroup Global Markets Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2024082109701 Jeffrey Arthur Perryman CRD 2019969 AWC lp (2024-1730938807241).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024082109701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Arthur Perryman (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2019969 Pursuant to FINRA Rule 9216, Respondent Jeffrey Arthur Perryman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2024-016

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA rules.

2023079709101 Nathan Lemberg CRD 5955295 AWC gg (2024-1730679601500).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079709101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nathan E. Lemberg (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5955295 Pursuant to FINRA Rule 9216, Respondent Nathan E. Lemberg submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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